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June 14, 2010 12:37 PM
Posted by: Naplesguy
Email Archiving and Compliance, FINRA compliance, SEC
Compliance now means more than just email archiving for financial institutions
Posted by: Naplesguy
Email Archiving and Compliance, FINRA compliance, SECThe landscape for SEC and FINRA compliance has changed.
Financial firms have been under the scrutiny of FINRA and the SEC for quite some time. Email archiving was born from the necessity of compliance with laws like the Federal Rules of Civil Procedure, SEC’s
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